The role will lead core compliance activity for DMI’s U.S. broker dealer programme and fulfil supervisory duties as a Series 24 qualified principal
Job Summary
The role will lead core compliance activity for DMI’s U.S. broker dealer programme and fulfil supervisory duties as a Series 24 qualified principal.
Primary liaison with US regulators (SEC and FINRA), with responsibility for managing regulatory enquiries and leading firmwide preparation for and execution of regulatory examinations.
LSEG is committed to offering competitive Compensation and Benefits, with an anticipated base salary range of $123,700 - $206,100.
Matching Summary
The role will lead core compliance activity for DMI’s U.S. broker dealer programme and fulfil supervisory duties as a Series 24 qualified principal.
Salary
Base: $123,700 - $206,100; Bonus/Equity: Annual Incentive Plan (AIP/”bonus plan”); Benefits: Annual Wellness Allowance, Paid time-off, Medical, Dental, Vision, Flex Spending & Health Savings Options, Prescription Drug plan, 401(K) Savings Plan and Company match, basic life insurance, disability benefits, emergency backup dependent care, adoption assistance commuter assistance etc.
Skills & Requirements
Must-have
FINRA Series 24
US securities laws
digital assets regulatory requirements
broker dealer and ATS regimes
FINRA NMA process
Nice-to-have
understanding of digital assets
practical implementation of regulatory strategies
collaboration across business levels
Key Requirements
FINRA Series 24 license
Proven industry experience in securities markets Compliance